In the event that, for example, the subject of the investigation files a lawsuit against your company, you will need to demonstrate to a judge's satisfaction that you behaved responsibly and legally throughout.Īnother key document is a confirmatory memorandum. This includes documenting your compliance with your own policies. A clearly written policy will help your arrive at a successful and correct outcome, avoid common blunders, ensure that proper documentation is kept (see next point), and keep your company out of legal hot water.ĭocument your work. It should dictate the appropriate personnel and procedures for internal investigations at your organization.
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(In fact, Thompson has written a series of books to provide specific direction to various constituencies: audit, IT, facilities/building management, Human Resources, and so on.) He offers the following fundamental to-do list in planning and executing an internal investigation. Q: What planning steps should be undertaken at the outset of an internal investigation?Ī: Attorney John Thompson notes that investigations are often lead by personnel other than security. You will find links throughout pointing to more detailed information. Here is a primer covering the basics of internal investigations, compiled from expert advice in CSOonline articles. The exact players and actions will be ONLY those dictated as necessary by the particular case at hand. It may also require consultation with managers, human resources and legal personnel, and potentially also law enforcement.
Typical elements of an investigation include collection and examination of written or recorded evidence, interviews with suspects and witnesses, and computer and network forensics.
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